Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
RODRIGUES, DIAGO
Chinese Name of Relevant Individual
羅佳豪
HKMA Registration Number
AG5861
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Sep 2020 - 15 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
03 Sep 2020 - 15 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Oct 2016 - 24 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Oct 2016 - 24 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Apr 2016 - 08 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
Effective Period
12 Apr 2016 - 08 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Dec 2014 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 4: advising on securities
Effective Period
17 Dec 2014 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
RODRIGUES, DIAGO
:
Chinese Name of Relevant Individual
羅佳豪
:
HKMA Registration Number
AG5861
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5861
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
03 Sep 2020 - 15 Aug 2022
No
AG5861
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
03 Sep 2020 - 15 Aug 2022
No
AG5861
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 Oct 2016 - 24 Jul 2020
No
AG5861
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 Oct 2016 - 24 Jul 2020
No
AG5861
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
12 Apr 2016 - 08 Jul 2016
No
AG5861
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
12 Apr 2016 - 08 Jul 2016
No
AG5861
COUTTS & CO AG
Type 1: dealing in securities
17 Dec 2014 - 08 Apr 2016
No
AG5861
COUTTS & CO AG
Type 4: advising on securities
17 Dec 2014 - 08 Apr 2016
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.